RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
B•••• R••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Sep 18, 2024 · Westwood, Ma
- M••••• S•••••• wirehouseNov 2, 2022 to Aug 29, 2024 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 2017 to Oct 17, 2022 · Riverside, Ri
- M••••• S•••••• to C••••••• S••••••••• I•••left Aug 29, 2024, registered Sep 18, 2024 (20 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 17, 2022, registered Nov 2, 2022 (16 days) · Wirehouse to wirehouse · moved with a team
- B•••• R•••••• left M••••• S•••••• for C••••••• S••••••••• I••• (registered 2024-09-18)Aug 29, 2024 · Advisor changed firm · fact
- B•••• R•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2022-11-02)Oct 17, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address